FundVest ETF Participating Funds

FundVest? ETF Participating Funds

As of 10/9/17 (subject to change without prior notice)

FundVest? ETF, available from BNY Mellon¡¯s Pershing, is a no-transaction-fee (NTF) exchange-traded fund (ETF)

platform featuring a broad range of strategies with more than 160 funds to choose from. Key benefits include:

No transaction fees and no purchase minimums or holding period.1

Name

Symbol

Fund Classification

Direxion All Cap Insider Sentiment Shares

KNOW

Mid-Cap Value

Direxion Auspice Broad Commodity Strategy ETF

COM

Commodities General Funds

QQQE

Multi-Cap Growth

?

Direxion NASDAQ-100 Equal Weighted Index Shares

Direxion Zacks MLP High Income Index Shares

ZMLP

Energy MLP Funds

First Trust Dorsey Wright Focus 5 ETF

FV

Specialty/Miscellaneous

First Trust Dorsey Wright International Focus 5 ETF

IFV

Specialty/Miscellaneous

First Trust Dow 30 Equal Weight ETF

EDOW

Large-Cap Growth

First Trust Dow Jones Internet Index Fund

FDN

Science & Technology

First Trust Emerging Markets AlphaDEX? Fund

FEM

Emerging Markets

First Trust Emerging Markets Local Currency Bond ETF

FEMB

Emerging Markets Local Currency Debt Fds

First Trust Enhanced Short Maturity ETF

FTSM

Short-Intermediate Investment Grade Debt

FEP

European Region

First Trust Japan AlphaDEX Fund

FJP

Japanese

First Trust Large Cap Growth AlphaDEX? Fund

FTC

Multi-Cap Growth

First Trust Large Cap Value AlphaDEX Fund

FTA

Multi-Cap Value

First Trust Long/Short Equity ETF

FTLS

Alternative Long/Short Equity Funds

First Trust Low Duration Opportunities ETF

LMBS

US Mortgage

First Trust Morningstar Managed Futures Strategy Fund

FMF

Alternative Managed Futures Funds

First Trust Nasdaq Bank ETF

FTXO

Financial Services

First Trust NASDAQ Technology Dividend Index Fund

TDIV

Global Science/Technology Funds

First Trust North American Energy Infrastructure Fund

EMLP

Natural Resources

?

First Trust Europe AlphaDEX Fund

?

?

First Trust NYSE Arca Biotechnology Index Fund

FBT

Health/Biotechnology

First Trust Preferred Securities and Income ETF

FPE

Flexible Income

First Trust RBA Quality Income ETF

QINC

Equity Income

First Trust Rising Dividend Achievers ETF

RDVY

Equity Income

First Trust RiverFront Dynamic Asia Pacific ETF

RFAP

Pacific Region

First Trust RiverFront Dynamic Developed International ETF

RFDI

International Multi-Cap Core

First Trust RiverFront Dynamic Emerging Markets ETF

RFEM

Emerging Markets

First Trust RiverFront Dynamic Europe ETF

RFEU

European Region

1

Before a sale takes place, transactions must first settle in the account in order to qualify for no transaction fee.

FUNDVEST ETF PARTICIPANTS

Name

Symbol

Fund Classification

First Trust Senior Loan Fund

FTSL

Loan Participation

First Trust Small Cap Core AlphaDEX? Fund

FYX

Small-Cap Core

First Trust SSI Strategic Convertible Securities ETF

FCVT

Convertible Securities

First Trust STOXX European Select Dividend Index Fund

FDD

International Equity Income Funds

First Trust Tactical High Yield ETF

HYLS

High Yield Funds

First Trust TCW Opportunistic Fixed Income ETF

FIXD

Multi-Sector Income

First Trust Technology AlphaDEX Fund

FXL

Science & Technology

First Trust US Equity Opportunities ETF

FPX

Multi-Cap Growth

FVD

Multi-Cap Value

?

?

?

First Trust Value Line Dividend Index Fund

Guggenheim BulletShares 2018 Corporate Bond ETF

BSCI

Short Investment Grade Debt Funds

Guggenheim BulletShares 2018 High Yield Corporate Bond ETF

BSJI

High Yield Funds

Guggenheim BulletShares 2019 Corporate Bond ETF

BSCJ

Short-Intermediate Investment Grade Debt

Guggenheim BulletShares 2019 High Yield Corporate Bond ETF

BSJJ

High Yield Funds

Guggenheim BulletShares 2020 Corporate Bond ETF

BSCK

Short-Intermediate Investment Grade Debt

Guggenheim BulletShares 2020 High Yield Corporate Bond ETF

BSJK

High Yield Funds

Guggenheim BulletShares 2021 Corporate Bond ETF

BSCL

Corporate Debt Funds BBB-Rated

Guggenheim BulletShares 2021 High Yield Corporate Bond ETF

BSJL

High Yield Funds

Guggenheim BulletShares 2022 Corporate Bond ETF

BSCM

Corporate Debt Funds BBB-Rated

Guggenheim BulletShares 2022 High Yield Corporate Bond ETF

BSJM

High Yield Funds

Guggenheim BulletShares 2023 Corporate Bond ETF

BSCN

Corporate Debt Funds BBB-Rated

Guggenheim BulletShares 2023 High Yield Corporate Bond ETF

BSJN

High Yield Funds

Guggenheim BulletShares 2024 Corporate Bond ETF

BSCO

Corporate Debt Funds BBB-Rated

Guggenheim BulletShares 2024 High Yield Corporate Bond ETF

BSJO

High Yield Funds

Guggenheim BulletShares 2025 Corporate Bond ETF

BSCP

Corporate Debt Funds BBB-Rated

Guggenheim BulletShares 2026 Corporate Bond ETF

BSCQ

Corporate Debt Funds BBB-Rated

Guggenheim Dow Jones Industrial Average Dividend ETF

DJD

Equity Income

Guggenheim MSCI Emerging Markets Equal Country Weight ETF

EWEM

Emerging Markets

?

OEW

Large-Cap Core

?

Guggenheim S&P 500 Equal Weight Consumer Discretionary ETF

RCD

Consumer Services Funds

Guggenheim S&P 500? Equal Weight Consumer Staples ETF

RHS

Consumer Goods Funds

?

RYE

Natural Resources

?

RSP

Multi-Cap Core

?

RYF

Financial Services

?

Guggenheim S&P 500 Equal Weight Health Care ETF

RYH

Health/Biotechnology

Guggenheim S&P 500? Equal Weight Industrials ETF

RGI

Industrials Funds

?

RTM

Basic Materials Funds

?

EWRE

Real Estate

?

Guggenheim S&P 500 Equal Weight Technology ETF

RYT

Science & Technology

Guggenheim S&P 500? Equal Weight Utilities ETF

RYU

Utility

?

RPG

Multi-Cap Growth

?

Guggenheim S&P 500 Pure Value ETF

RPV

Multi-Cap Value

Guggenheim S&P High Income Infrastructure ETF

GHII

Global Infrastrucure Funds

EWMC

Small-Cap Core

Guggenheim S&P 100 Equal Weight ETF

Guggenheim S&P 500 Equal Weight Energy ETF

Guggenheim S&P 500 Equal Weight ETF

Guggenheim S&P 500 Equal Weight Financial ETF

Guggenheim S&P 500 Equal Weight Materials ETF

Guggenheim S&P 500 Equal Weight Real Estate ETF

Guggenheim S&P 500 Pure Growth ETF

?

Guggenheim S&P MidCap 400 Equal Weight ETF

FUNDVEST ETF PARTICIPANTS

Name

Symbol

?

Fund Classification

Guggenheim S&P MidCap 400 Pure Growth ETF

RFG

Small-Cap Growth

Guggenheim S&P MidCap 400? Pure Value ETF

RFV

Small-Cap Value

Guggenheim S&P SmallCap 600? Equal Weight ETF

EWSC

Small-Cap Core

Guggenheim Total Return Bond ETF

GTO

Core Bond Funds

Guggenheim Ultra Short Duration ETF

GSY

Ultra-Short Obligation

Oppenheimer Large Cap Revenue ETF

RWL

Large-Cap Value

Oppenheimer Mid Cap Revenue ETF

RWK

Small-Cap Core

Oppenheimer Small Cap Revenue ETF

RWJ

Small-Cap Value

Oppenheimer Ultra Dividend Revenue ETF

RDIV

Equity Income

PIMCO Active Bond Exchange-Traded Fund

BOND

N/A

PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund

MUNI

Intermediate Municipal Debt

PIMCO Low Duration Active Exchange-Traded Fund

LDUR

Short Investment Grade Debt Funds

PIMCO Short Term Municipal Bond Active Exchange-Traded Fund

SMMU

Short Municipal Debt

PowerShares 1-30 Laddered Treasury Portfolio

PLW

General US Treasury

PowerShares Balanced Multi-Asset Allocation Portfolio

PSMB

Mixed-Asset Target Allocation Growth

PowerShares Conservative Multi-Asset Allocation Portfolio

PSMC

Mixed-Asset Target Allocation Conservative

PowerShares Dynamic Large Cap Growth Portfolio

PWB

Large-Cap Growth

PowerShares Dynamic Large Cap Value Portfolio

PWV

Large-Cap Value

PowerShares Emerging Markets Sovereign Debt Portfolio

PCY

Emerging Mrkts Hard Currency Debt Funds

PowerShares FTSE RAFI Developed Markets ex-U.S. Portfolio

PXF

International Multi-Cap Value

PowerShares FTSE RAFI Emerging Markets Portfolio

PXH

Emerging Markets

PowerShares FTSE RAFI US 1000 Portfolio

PRF

Multi-Cap Value

PowerShares FTSE RAFI US 1500 Small-Mid Portfolio

PRFZ

Small-Cap Core

PowerShares Fundamental High Yield Corporate Bond Portfolio

PHB

High Yield Funds

PowerShares Fundamental Investment Grade Corporate Bond Portfolio

PFIG

Corporate Debt Funds BBB-Rated

PowerShares Growth Multi-Asset Allocation Portfolio

PSMG

Mixed-Asset Target Allocation Growth

PowerShares LadderRite 0-5 Year Corporate Bond Portfolio

LDRI

Short-Intermediate Investment Grade Debt

PowerShares Moderately Conservative Multi-Asset Allocation Portfolio

PSMM

Mixed-Asset Target Allocation Conservative

PowerShares National AMT-Free Municipal Bond Portfolio

PZA

General & Insured Municipal Debt Funds

PowerShares Optimum Yield Diversified Commodity Strategy

No K-1 Portfolio

PDBC

Commodities General Funds

PowerShares Preferred Portfolio

PGX

Flexible Income

PowerShares Russell 1000 Equal Weight Portfolio

EQAL

Multi-Cap Core

PowerShares Russell Top 200 Pure Growth Portfolio

PXLG

Large-Cap Growth

PowerShares S&P 500 Enhanced Value Portfolio

SPVU

Large-Cap Value

PowerShares S&P 500 High Beta Portfolio

SPHB

Multi-Cap Core

PowerShares S&P 500 Low Volatility Portfolio

SPLV

Multi-Cap Core

PowerShares S&P 500 Momentum Portfolio

SPMO

Large-Cap Core

PowerShares S&P 500 Value With Momentum Portfolio

SPVM

Large-Cap Value

?

SPHD

Equity Income

?

PowerShares S&P 500 Quality Portfolio

SPHQ

Large-Cap Core

PowerShares S&P Emerging Markets Low Volatility Portfolio

EELV

Emerging Markets

PowerShares S&P Emerging Markets Momentum Portfolio

EEMO

Emerging Markets

PowerShares S&P 500 High Dividend Low Volatility Portfolio

FUNDVEST ETF PARTICIPANTS

Name

Symbol

Fund Classification

IDHD

Equity Income

PowerShares S&P International Developed Low Volatility Portfolio

IDLV

International Multi-Cap Core

PowerShares S&P International Developed Momentum Portfolio

IDMO

International Multi-Cap Growth

PowerShares S&P International Developed High Dividend Low

Volatility Portfolio

PowerShares S&P International Developed Quality Portfolio

IDHQ

International Multi-Cap Growth

PowerShares S&P MidCap Low Volatility Portfolio

XMLV

Mid-Cap Core

PowerShares S&P SmallCap High Dividend Low Volatility Portfolio

XSHD

Equity Income

PowerShares S&P SmallCap Low Volatility Portfolio

XSLV

Small-Cap Core

PowerShares S&P SmallCap Quality Portfolio

XSHQ

Small-Cap Growth

PowerShares Senior Loan Portfolio

BKLN

Loan Participation

PowerShares Variable Rate Investment Grade Portfolio

VRIG

Short Investment Grade Debt Funds

PowerShares Variable Rate Preferred Portfolio

VRP

Equity Income

Reality Shares DIVS ETF

DIVY

Alternative Multi-Strategy Funds

SPDR Blackstone / GSO Senior Loan ETF

SRLN

Loan Participation

SPDR? Bloomberg Barclays Convertible Securities ETF

CWB

Convertible Securities

?

JNK

High Yield Funds

?

FLRN

Short Investment Grade Debt Funds

?

SJNK

High Yield Funds

SPDR Dorsey Wright Fixed Income Allocation ETF

DWFI

Multi-Sector Income

SPDR? DoubleLine Total Return Tactical ETF

TOTL

Multi-Sector Income

?

SPDR Bloomberg Barclays High Yield Bond ETF

SPDR Bloomberg Barclays Investment Grade Floating Rate ETF

SPDR Bloomberg Barclays Short Term High Yield Bond ETF

?

?

?

EMTL

Emerging Mrkts Hard Currency Debt Funds

?

?

STOT

Short-Intermediate US Government

SPDR Dow Jones Global Real Estate ETF

RWO

Global Real Estate Funds

SPDR? Dow Jones International Real Estate ETF

RWX

International Real Estate Funds

?

RWR

Real Estate

?

QEFA

International Multi-Cap Growth

?

QEMM

Emerging Markets

?

SPDR MSCI USA StrategicFactors ETF

QUS

Large-Cap Core

SPDR? MSCI World StrategicFactors ETF

QWLD

Global Large-Cap Growth

SPDR? Nuveen Bloomberg Barclays Municipal Bond ETF

SPDR DoubleLine Emerging Markets Fixed Income ETF

SPDR DoubleLine Short Term Total Return Tactical ETF

?

SPDR Dow Jones REIT ETF

SPDR MSCI EAFE StrategicFactors ETF

SPDR MSCI Emerging Markets StrategicFactors ETF

TFI

General & Insured Municipal Debt Funds

?

SHM

Short Municipal Debt

?

HYMB

High Yield Municipal Debt

?

SPDR Portfolio Emerging Markets ETF

SPEM

Emerging Markets

SPDR? Portfolio Intermediate Term Corporate Bond ETF

SPIB

Corporate Debt Funds BBB-Rated

?

SPLG

Large-Cap Core

?

SPLB

General Bond

SPDR Portfolio S&P 500 Growth ETF

SPYG

Large-Cap Growth

SPDR? Portfolio S&P 500 Value ETF

SPYV

Large-Cap Value

?

SPSB

Short Investment Grade Debt Funds

?

SPSM

Small-Cap Core

?

SPTM

Multi-Cap Core

?

SPDR Portfolio World ex-US ETF

SPDW

International Multi-Cap Core

SPDR? S&P 400 Mid Cap Growth ETF

MDYG

Mid-Cap Growth

SPDR Nuveen Bloomberg Barclays Short Term Municipal Bond ETF

SPDR Nuveen S&P High Yield Municipal Bond ETF

SPDR Portfolio Large Cap ETF

SPDR Portfolio Long Term Corporate Bond ETF

?

SPDR Portfolio Short Term Corporate Bond ETF

SPDR Portfolio Small Cap ETF

SPDR Portfolio Total Stock Market ETF

FUNDVEST ETF PARTICIPANTS

Name

Symbol

?

Fund Classification

SPDR S&P 400 Mid Cap Value ETF

MDYV

Small-Cap Value

SPDR? S&P 600 Small Cap Growth ETF

SLYG

Small-Cap Growth

SPDR? S&P 600 Small Cap Value ETF

SLYV

Small-Cap Value

SDY

Equity Income

?

SPDR S&P Dividend ETF

?

SPDR S&P Global Natural Resources ETF

GNR

Global Natural Resources Funds

SPDR? SSGA Gender Diversity Index ETF

SHE

Specialty/Miscellaneous

SPDR? Wells Fargo Preferred Stock ETF

PSK

Flexible Income

Note: Fund classification provided by Lipper.

Learn more about the NTF-ETFs in FundVest ETF

? For Direxion funds, visit:

? For First Trust funds, visit:

? For Guggenheim funds, visit: products/etf

? For PIMCO funds, visit:

? For PowerShares funds, visit:

? For Oppenheimer funds, visit:

? For Reality Shares funds, visit:

? For SPDR funds, visit: product

To learn more about FundVest ETF, talk with a representative of your financial organization. The funds listed above are

offered to you by your financial organization and made available through Pershing. List subject to change without

prior notice.

Please note that shares purchased on the FundVest ETF platform may not be immediately marginable. Investments are

not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value. Consult

with an advisor before investing in or sending money.

Performance may be affected by risks associated with nondiversification, including investments in specific countries or

sectors. Additional risks may also include, but are not limited to, investments in foreign securities, especially emerging

markets, real estate investment trusts (REITS), fixed income, small-capitalization securities and commodities. Each

individual investor should consider these risks carefully before investing in a particular security or strategy.

Investors should consider carefully information contained in the prospectus, including investment objectives,

risks, charges and expenses. You can obtain a prospectus from your financial professional, your financial

organization or directly from the fund provider. Please read the prospectus carefully before investing.

Please note that ETFs are subject to market fluctuation and the risks of their underlying investment. ETFs and even no transaction fee

ETFs are subject to management fees and other expenses. Unlike mutual funds, ETFs are bought and sold at market price, which may

be higher or lower than their net asset value (NAV), and are not individually redeemed from the fund. Exchange-traded products (ETPs)

are subject to market volatility and the risks of their underlying securities, which may include the risks associated with investing in

smaller companies, foreign securities, commodities, and fixed income investments. Foreign securities are subject to interest rate,

currency exchange rate, economic and political risks, all of which are magnified in emerging markets. ETPs that target a small universe

of securities, such as a specific region or market sector, are generally subject to greater market volatility, as well as to the specific risks

associated with that sector, region, or other focus. ETPs that use derivatives, leverage or complex investment strategies are subject to

additional risks. The return of an index ETP is usually different from that of the index it tracks because of fees, expenses, and tracking

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